P&P Policies and Procedures Consulting
P&P Policies and Procedures Consulting

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The Policies & Procedures Authority – The newsletter about the art of transforming workplace learning and performance through Policies & Procedures Communication

Compliance and Ethics Cause Need for Policies & Procedures Communication

– Raymond E. Urgo

Popular top priority

Increasingly, the issue of compliance and business ethics has become a top priority for organizations worldwide—a priority that has increased the need for policies and procedures (P&P) communication assistance. So, what’s causing the increased need for compliance and business ethics and more popularity for P&P?

Increasing competition, generational differences, widespread social awareness, and customer demand for higher quality products and services make it necessary to ensure that the right protections are in place. Other reasons for the increased attention include the numerous reports of corporate scandals and corruption, along with ensuing legislative regulations in today’s global economy. This article describes some of the specific causes.

Social awareness and workforce diversity

  • The demand for social responsibility awareness is causing global organizations to be held accountable for demonstrating and communicating P&P to ensure company respect and ethical values for people, communities, and the environment.
  • As diverse cultural backgrounds and the younger generation of employees assume more control of local decision making in the workplace than ever before, organizations are faced with clarifying and codifying top management values that guide employees in their work.

Global presence

  • Businesses with a global presence of employees in various countries need to promote standard practices of integrity, especially when cultural differences may interpret integrity differently.
  • Areas of the world that have a reputation for corruption are causing global companies to formulate and promulgate ethics practices for managing risk and workplace investigations.
  • Organizations seeking ISO (International Organization for Standardization) certification for producing quality products and services, on par with global standards, have the need for documented P&P for training, performance, and auditing purposes.

U.S. legislation

  • The Sarbanes-Oxley Act (SOX) requires that financial controls and reporting be in place in publicly held companies.
  • The Bank Security Act (BSA) requires that financial service providers put systems and procedures in place to prevent anti-money laundering activities.
  • eDiscovery rules regulate how electronically stored information must be handled when a legal action is initiated, including the requirement for corporate P&P to include what electronic data and meta-data is stored, where and how it is stored, when and how it is destroyed, and more.
  • The Health Insurance Portability and Accountability Act (HIPPA) requires compliance in practices governing security and privacy of health data in the U.S.


As the workplace becomes more complex and global, the need and demand for compliance and business ethics continues to expand and deepen within and across industries. The role of P&P communication is to help clarify and communicate business values and practices for employees to learn, perform, and behave in a predictable, consistent, and repeatable manner based upon top management values.

To explore how policies and procedures communication can support trends affecting compliance and business ethics in your workplace, contact Urgo & Associates.